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FINRA General Securities Representative Examination (GS) Sample Questions:

1. Which of the following are not flat rate taxes?

A) excise tax
B) gift tax
C) general income tax
D) gasoline tax

2. Which of the following is not found in the final prospectus?

A) a statement as to possible stabilization by the manager
B) a copy of the underwriting agreement
C) the public offering price
D) a statement that the SEC neither approves nor disapproves of the issue

3. The principal underwriter of an open-end investment company is frequently called:

A) selling group member
B) sponsor
C) investment counselor
D) participating investment advisor

4. Which of the following is not classified as a money market instrument?

A) treasury bills
B) banker's acceptances
C) commercial paper
D) American Depository Receipts

5. The market theory stating that the small investor is usually wrong is called the:

A) Dow theory
B) short interest theory
C) advance-decline theory
D) odd-lot theory

Solutions: